Among the notable regulatory, congressional and other investigations in which Mr. Donnelly has represented entities and individuals are the following:

Represent special litigation committee of board of directors of Fortune-50 public company in investigating and responding to shareholder demands to renegotiate merger agreement

Representation of a public company in an SEC financial reporting investigation that was resolved through entry of an administrative cease-and-desist order

Representation of the former chief financial officer of a public company in an SEC financial reporting investigation in which an enforcement action was brought but the client was not charged and in related class action litigation

Representation of the audit committee of the board of directors of a public company in an internal investigation of the circumstances requiring a restatement of prior financial statements

Representation of the controller and deputy controller of a public company in an SEC financial reporting investigation that was resolved through the issuance of an administrative cease-and-desist order

Representation of the president of national bank in testimony before the Senate Permanent Subcommittee on Investigations

Among the notable independent consultant/monitor engagements in which Mr. Donnelly has played a major role are the following:

An engagement for a global financial institution which had entered into a deferred prosecution agreement with the DOJ and a related SEC settlement arising out of allegations that the institution had opened accounts for US persons who were seeking to conceal income from US tax authorities and had acted as a US broker-dealer without being registered as such

An engagement for a major financial institution which was one of the parties to the Global Research Settlement entered into with the SEC, the NASD and the states

An engagement for a major financial institution that had settled an SEC enforcement action alleging that the institution had failed to preserve and promptly produce certain email communications with customers in accordance with the broker-dealer books and records requirements of the federal securities laws

Cookies on our website

We use cookies on our website. If you continue to use our website,
you are consenting to our use of cookies in accordance with our
Cookie Policy.
For information about how to change your cookie settings, please see our
Cookie Policy.